AVP, Compliance Control Room

Wedbush Securities is one of the largest securities firms andinvestment banks in the nation. We provide innovative financialsolutions through our Private Client Services, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California, with over 100 offices and more than 80 correspondentoffices, our commitment to providing relentless, customized serviceis the foundation of our consistent growth. We are currently seeking an AVP, Compliance Control Room, who willoversee controls designed to mitigate conflicts of interest, protectconfidential information, and preserve the integrity of the firm’sinformation barriers. This is a hybrid role thatcan be based in NewYork City. Responsibilities include, but are not limited to: Analyze data and derive insights and risk indicators with the helpof business intelligence tools Assist in implementing information barrier policies and proceduresby maintaining the watch and restricted lists, deal lists andhandling conflicts clearance Monitor employee personal trading and electronic communicationsand perform periodic compliance testing/surveillance Monitor employee gift & entertainment, politicalcontributions, and outside business activities Communicate with Sales, Trading, Research, Investment Bankingpersonnel regarding specific firm transactions and compliancerelated issues Participate in the drafting of compliance related policies andprocedures, making recommendations to develop or enhance businessunit procedures as they relate to Compliance Control Room (CCR) Act as the gatekeeper and chaperone with respect to permittedconversations between the restricted groups of employees andpotential compliance issues arising out of monitored interactions Respond to compliance related questions from management and staff Assist in keeping the CCR current on relevant regulatory changes Develop and implement compliance related monitoring and compliancemetrics relevant to CCR functions; performing and/or overseeinginformation for compliance reporting to management Develop, coordinate and deliver initial and ongoing training foret employees on compliance requirements of designated laws, regulations, and policies Analyze and report of relevant risk indicators and assist inidentifying and remediating emerging compliance risks Manage multiple, deadline-oriented tasks in a fast-paced environment Respond to regulatory inquiries, interacting with regulatoryexaminers and internal auditors, and provide advice and guidance tobusiness partners Perform other duties as required and assigned Experience and Skills Bachelor's Degree from an accredited university required Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank Solid understanding of the nature of protection of information, inparticular managing confidential and material non-public information Understanding of FINRA, SEC and other regulatory requirements Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint) Ability to manage controls to prevent and detect insider tradingby employees Highly organized with the ability to multi-task and managemultiple projects and competing priorities without sacrificingaccuracy or efficiency High levels of ethics, integrity and judgment Excellent communication and presentation skills with the abilityto communicate effectively across various departments and levels ofthe organization Extremely detail-oriented, strong analytical, problem-solving andcritical-thinking skills Self-starter able to work independently with minimal supervisionas well as within a fast-paced team environment